Securities & SEC

The National Law Review provides readers the latest information, legislation, and news regarding Securities and the SEC, from the Securities and Exchange Commission (SEC) and topics covered under the Securities Exchange Act of 1934.

Securities Exchange Commission

The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The National Law Review covers news and updates coming out of the SEC, including information about updates on the US SEC EDGAR system and related requirements, rules designed to limit and enforce rules against Insider Trading and Anti-Money Laundering settlements. Additionally, analysis of the SEC Division of Investment Management leadership and proposed rulemakings. 

CFTC & FINRA

Commodities Futures and Trading Commission (CFTC) topics are discussed as they unfold on the NLR. Readers can learn about the latest cybersecurity regulations for companies engaging in bitcoin transactions, and how businesses can accept cryptocurrencies as valid, legal-tender. They can read about how M&A transactions are affected by tax-legislation, new legislation and regulations related to insider-trading, learn about ‘no-poach’ agreements, to securities fraud with the news covered online.  Additionally, the National Law Review covers information related to the Financial Industry Regulatory Authority (FINRA), including rule changes related to the organization and updates on FINRA enforcement priorities.

Securities around the World

The European Securities and Markets Authorities (ESMA) and Australian Securities and Investment Commission (ASIC) news and information, is also prominently covered on The National Law Review. So, foreign investors, US-based businesses, tax implications, and other topics which revolve around the international-realm, and securities, can be found on NLR.

Visitors will find both national and international news and cases surrounding the SEC, securities regulation commissions, and international-Securities markets. Whether readers are interested in learning about new legislation, upcoming changes to Visa programs or possible tax concerns with their foreign investments, The National Law Review has up to date news, and cases, which will cover these, and any other topics of interest in the securities market.

For hourly updates on the latest news about securities/SEC regulations, corporate & business law, compliance and more securities & business law news, be sure to follow our Finance and Securities Law Twitter feed and sign up for complimentary e-news bulletins.

Custom text Title Organization
Aug
27
2015
 New Missouri Law Gives Securities Brokers Immunity for Protecting Seniors Armstrong Teasdale
Sep
10
2014
 New Money Market Fund Rules Require Review by Retirement Plan Sponsors McDermott Will & Emery
Jan
20
2012
 New NJ Law Provides Corporate Tax Credits To Foster Job Creation Giordano, Halleran & Ciesla, P.C.
Jan
27
2022
 New Poll Underscores Growing Support for National Data Privacy Legislation Robinson & Cole LLP
Apr
5
2019
 New Procedures for Mutual Fund and Insurance Product SEC Filings Carlton Fields
Jul
15
2016
 New Proposed SEC Rules for the Disclosure of Order Handling Information Katten
May
30
2012
 New Proposed Section 83 Regulations Clarify What Constitutes a Substantial Risk of Forfeiture McDermott Will & Emery
Feb
8
2020
 New Rate for Fees Paid Under Section 31 of the Exchange Act Katten
Apr
11
2018
 New Record for Dodd-Frank Whistleblowers – Employment Law This Week [VIDEO] Epstein Becker & Green, P.C.
Sep
20
2023
 New Record for Number of Employees Affected by Rule 21F-17(a) Violations Does Not Lead to Increase in Sanctions Against CBRE Kohn, Kohn & Colapinto
Nov
12
2015
 New Regulation Crowdfunding: A Financing Lifeline for Startups and Small Businesses von Briesen & Roper, s.c.
Dec
9
2012
 New Regulations on Equity Contribution Issued by China’s MOFCOM Greenberg Traurig, LLP
Mar
24
2017
 New Regulations on Issue Price of Tax-Exempt Bonds Foley & Lardner LLP
Jun
2
2017
 New Rule 147A And Amendments To Rule 147 Are Now Effective Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
5
2013
 New Rule 506 C&DI’s Require Some Explaining Re: Compliance & Disclosure Interpretations Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
3
2022
 New Rules for Filing Fee Tables are in Effect Nelson Mullins
Apr
23
2016
 New Rules Impacting Disclosure, Governance and Capital Raising Efforts McDermott Will & Emery
Dec
10
2021
 New SEBI Rules for AIF LPS to Co-Invest Nishith Desai Associates
Sep
1
2022
 New SEC "Pay for Performance" Proxy Disclosure Rules Will Require Significant Advance Planning and Effort Cadwalader, Wickersham & Taft LLP
Feb
27
2014
 New SEC (Securities and Exchange) Guidance for M&A (Mergers and Acquisitions) Brokers Womble Bond Dickinson (US) LLP
Jul
30
2015
 New SEC and PCAOB Proposals Related to Audit Committee Disclosure and Audit Quality Morgan, Lewis & Bockius LLP
Mar
8
2024
 New SEC Climate-Related Disclosure Rule Blank Rome LLP
Dec
7
2017
 New SEC Cyber Unit Obtains Emergency Action Against ICO K&L Gates
Sep
8
2023
 New SEC Cybersecurity Disclosure Requirements Place Pressure On Public Companies To Investigate Potential Breaches Quickly And Involve Leadership In Data Security Compliance Jackson Lewis P.C.
Aug
25
2016
 New SEC Filing: Avast Holding & AVG Technologies Squire Patton Boggs (US) LLP
May
18
2016
 New SEC Guidance on Non-GAAP Financial Measures Will Require Changes to Many Non-GAAP Presentations Morgan, Lewis & Bockius LLP
Oct
20
2016
 New SEC Guidance on Pay Ratio Disclosure Faegre Drinker
Apr
30
2020
 New SEC Guidance on PPP Loans, Form ADV Brochure Delivery and the Custody Rule Vedder Price
Jul
2
2021
 New SEC Presumption in Favor of Granting Maximum Award to Meritorious Whistleblowers Katz Banks Kumin LLP
Mar
12
2018
 New SEC Probe of ICO Issuers and SAFT Structure Proskauer Rose LLP
Dec
5
2019
 New SEC Proposed Amendments Respond to Tech Changes and Advancements ArentFox Schiff LLP
Apr
18
2017
 New SEC Rule 147A and Related Rule Amendments Facilitate Capital Formation Steptoe & Johnson PLLC
Sep
27
2019
 New SEC Rule Expands “Test-the-Waters” to All Issuers Katten
Oct
11
2013
 New SEC Rule Helps Entrepreneurs Raise Capital Greenberg Traurig, LLP
Jun
10
2022
 New SEC Rule Mandates Electronic Filing of Form 144S and “Glossy” Annual Reports McDermott Will & Emery
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